Law and the Emotions-Eric Posner

8/3/2019 Law and the Emotions-Eric Posner

1/41

This paper is available from the Social Science Research Network, www.ssrn.com.

CHICAGO

JOH N M. OLIN LAW & ECONOMICS WORKING PAPER NO . 103(2D SERIES)

Law and t h e Emot ions

Eric A. Posner

THE LAW SCHOOL

THE UNIVERSITY OF CHICAGO


2/41

Law and the Emotions

Eric A. Posner1

Introduction

The role of the emotions is much neglected in legal theory. This should be puzzling atfirst sight, because emotions play an important role in many areas of the law. Consider thefollowing problems.

A person who kills while angry is usually guilty of a less serious crime than a person whokills in a calm, unemotional state, but not if the anger is caused by hatred rather than shame.

Judges exclude photographs of gory crime scenes, even when the photographs have probativevalue, when the photographs are likely to provoke extreme outrage or disgust. The use of

victim impact statements in capital sentencing has been criticized for inflaming the juryagainst the defendant and defended as a way of enhancing the jurys empathy for the victim.

A common justification for workplace, environmental, and consumer product regulation isthat individuals lack information about the risks that they face. Unexplored is the role thatfear plays in decisions to fly on airplanes or use air bags, and how agencies should regulate inresponse to panics about health risks.

Mediators have long known that anger and other emotions interfere with bargaining, butthese emotions are overlooked in contract theory. Emotional response to breach of contracthas important implications for the design of remedies in contract law.

Market behavior and responses to cost-benefit surveys often reflect emotional responses thatpeople disclaim when they are calm. Should this information likewise be discounted byagencies engaging in cost-benefit analysis, or should it be treated as authentic data on actualpreferences?

These issues raise questions about the relationship between emotion and law, but legaltheory is unprepared to answer them. One reason for the neglect of emotions in legal theory maybe that the dominant strains of normative legal theory -- economic analysis, moral-philosophicalanalysis, constitutional analysis -- rely on methodologies that are not well suited to analyzingemotion, or at least, for reasons of intellectual history, have simply not yet focused on the

emotions. Another reason may be the primitive state of the psychology literature on the topic.Psychologists themselves admit that they do not have a good theory of the emotions, in partbecause research in this area is relatively new. Yet a review of that literature reveals a number ofinsights that are sufficiently well-developed to be of value for legal theory. And, indeed, in the

1 Professor of Law, University of Chicago. Thanks to Matthew Adler, Jack Goldsmith, Cass Sunstein, and AdrianVermeule for very helpful comments, and to The Sarah Scaife Foundation Fund and The Lynde and Harry BradleyFoundation Fund for generous financial support.


3/41

University of Chicago Law and Economics Working Paper No. 103

2

past few year the emotions have begun to interest a small but growing group of legal theorists. 2

This paper contributes to this small literature by providing a simple but useful frameworkfor analyzing the relationship between law and the emotions. The theory draws on the economicmodel of consumer choice, but it does not reduce emotional behavior to rational self-interest, and

instead relaxes the consumer choice model in order to account for emotional behavior.3

Theframework assumes that peoples calm preferences, that is, the preferences that they havewhen they are not emotionally aroused, differ from their emotion state preferences, which areskewed toward the stimulus that provokes the emotion. Further, peoples abilities and beliefsabout the world often differ in emotion states and calm states. Finally, because people cananticipate their emotional responses to various conditions, they will often take steps earlier oneither to avoid (or to pursue) these conditions, and to cultivate certain beneficial emotionaldispositions.

The framework does simplify, but it is not simplistic, and it sheds light on the debatesdiscussed above. Its predictions are fairly straightforward; the main contribution is clarifying the

relationship between emotions and rational action by placing them in the rational choiceframework which is now the standard approach to analyzing private law and some aspects ofpublic law.4 After discussing the psychology literature (Part I), and laying out the framework(Part II), I analyze emotions as excuses in criminal and tort law (Part III), the manipulation of theemotions of juries (Part IV), regulation of emotion-laden risks (Part V), bargaining in contractlaw when parties are emotional (Part VI), and emotions in normative legal theory (Part VII).

I should comment at the outset about the relationship between the current inquiry and thefield of law and cognitive psychology or behavioral law and economics. This field has so farfocused on cognition rather than emotion. It focuses on errors in judgment, such as theunderestimation of small probabilities, the reliance on anchoring devices when making

evaluations, the tendency to value items in hand more than items possessed by others, and soforth. There is, of course, some overlap with emotion. Some cognitive errors are said to be theresult of dread, and some psychologists have recently argued that cognitive biases are bestanalyzed as the result of emotional dispositions or feelings.5 But to avoid redundancy with the

2 See, in particular, the essays in The Passions of Law (Susan Bandes ed. 1999); some of these essays and other legalwork on the emotions are cited below.3 This approach differs from the three prominent economic treatments of emotions those by Becker, Frank, andHirshleifer in the following ways. First, all three authors treat emotions as purely irrational states rather than statesin which preferences and other attributes temporarily change. Second, Frank and Hirshleifer focus on theevolutionary significance of emotion, namely, how it may enable people to keep commitments or make crediblethreats. Beckers work is complex and in some ways my account overlaps with it (see notes infra), but his main

focus has been on how envy and altruism affect family behavior, and how people might try to inculcate others withcertain emotional dispositions. His discussions of guilt are quite casual, and he has little to say on emotion as ageneral category. Third, these authors focus on a limited set of emotions: usually, anger, sympathy, envy, altruism,and shame. Fourth, none of the authors discusses the legal issues that I analyze. See Robert Frank, Passions withinReason (1988); Jack Hirshleifer, Emotions as the Guarantors of Threats, in Louis Dupre, The Latest on the Best(1987); Gary Becker, Accounting for Tastes (1996).4 For methodological concerns with this approach, see Toni M. Massaro, Show (Some) Emotions, in Bandes, supranote __, at 92-93.5 George F. Loewenstein, Elke U. Weber, Christopher K. Hsee, & Edward S. Welch, Risk as Feelings (unpublishedmanuscript, 1999).


4/41


3

many law articles that use cognitive psychology, I confine myself to understandings of theemotions that do not overlap too much with the cognitive psychology literature.

I. The Emotions

Although psychology lacks a widely accepted theory of emotion, and many fundamentalissues about the nature of emotion remain unresolved,6 much progress has been made in the lastthirty years, and agreement on some important issues has been achieved. An emotion is one of agroup of psychological phenomena with the following distinctive characteristics.7 Emotions areusually stimulated by the world, either via the mediation of cognition or through a moreprimitive stimulus-response-like neurological mechanism. They have a certain feel or affectcharacterized usually by a focus on a particular stimulus with the result that the rest of theenvironment fades (a little or a lot, depending on the strength of the emotion) though does notdisappear altogether. An angry person feels a kind of warmth and agitation; it is directed usuallyat another person, the result of a slight or offense. A person who is disgusted feels a kind ofnausea; it is directed at the object that provokes the disgust. The rest of the world remains, but at

a remove: an angry person might restrain himself because he does not want to be arrested forassault; a disgusted person might overcome the urge to withdraw because he wants to help aperson with a disgusting wound or he knows that the disgusting substance is an importantmedicine. Although emotions are usually accompanied by physiological changes, there does notappear to be a one-to-one correspondence between the different emotions and physiologicalstates:8 emotion has an irreducibly mental component.

One useful approach to understanding the emotions is to think about them against thebackground of the theory of consumer choice. In doing so, I follow cognitive psychology, whichgot its start by criticizing expected utility theory, and, I think, the mainstream literature on thepsychology of the emotions, which appears to understand emotion against an implicit theory of

rational behavior.

9

It is immediately clear that emotions are troublesome for the rational choice starting pointthat people choose actions in a way that is consistent with their preferences. It is common tothink of emotions as outside forces that compel one to act inconsistently with the interests ofthe self. This conception is familiar from everyday excuses for offensive conduct. A personmight apologize for insulting someone else by explaining that he was angry, or depressed, orirritable. The implication is always that the speaker is not fully responsible for his actions,because he was taken over by his emotions. But this conception is wrong. We hold peopleresponsible for their emotions.10 If anger was justified by some earlier wrong committed againstthe agent, then anger may be an excuse; if it resulted from an innocent mistake, then the anger is

6 Elster, supra note __, at 243; Paul Ekman & Richard Davidson, Introduction, The Nature of Emotion: FundamentalQuestions 3-4 (1994) (describing twelve unresolved questions about the nature of emotions).7 See Elster, supra note __, at 246-83; other useful sources include Richard S. Lazarus, Emotion and Adaptation(1991); Carroll E. Izard, The Psychology of Emotions (1991).8 As hypothesized by William James, see William James, The Principles of Psychology (1890).9 However, the very idea of the separation of rationality and emotion is problematized in this literature, a vividexample of which is Antonio R. Damasio, Descartes Error: Emotion, Reason, and the Human Brain (1994).10 As emphasized in Dan M. Kahan & Martha C. Nussbaum, Two Conceptions of Emotion in Criminal Law, 96Colum. L. Rev. 269, 285-89 (1996) (emphasizing the cognitive content of emotion).


5/41


4

no excuse. Whether or not a persons emotional state excuses his conduct depends on whetherthe person could have avoided the emotion or avoided the stimulus that provoked the emotion,and whether the emotion reflects acceptable moral beliefs about others and the world.

A better way to think about emotions is to start by noting that a persons preferences

might have different emotional valences. X has a preference that Y not be around. Thepreference could be more or less intense, and let us fix the intensity by supposing that X iswilling to pay $100 to avoid encountering Y. Economic analysis usually stops this point, andtakes this number as given. But it may also be relevant that Xs preferences has an emotionalcoloring. Xs emotions toward Y are qualitatively distinct, and this difference cannot be reducedto a dollar amount. X might hate Y, be angry at Y, or be disgusted with Y while in all caseshaving the same monetized preference to avoid Y.

Do these distinctions matter? In some cases the reduction of emotionally colored desiresfor certain world states to a monetized preference ordering is unobjectionable. If we are simplyconcerned with deterring certain behavior, and if the emotionality of the desire does not result in

an idiosyncratic influence on decision-making, knowledge of an affected persons costs andgains is sufficient for determining policy. For example, the law need not make distinctions onthe basis of a tortfeasors emotional state if its only purpose is to ensure that the victim iscompensated for his injury. Angry and calm drivers are sufficiently deterred if they must pay thesocial cost of their behavior. But in some contexts the emotional coloring of a preference doeshave instrumental and normative consequences.

From an instrumental perspective, the effectiveness of different kinds of sanctions oftendepends on a persons emotion state. An angry person discounts future sanctions but may bequite sensitive to claims about the provocation. If you push into a person, you are more likely toavoid being punched in the nose if you tell him that you tripped than if you remind him that he

could go to jail for assault. Anger is also vulnerable to delaying tactics and cooling off periods.Hatred, by contrast, is a more constant emotion, and also less likely to be extinguished by areasonable explanation. Further, we expect irascible people to avoid places where their anger islikely to be provoked, just as we expect epileptics to avoid driving. Fear, disgust, and the otheremotions all have their different idiosyncrasies, and a well-designed legal system exploits themdifferently.

From a normative perspective, the bare fact that a person has acted under the influence ofemotion does not excuse his conduct. In fact, while some emotions mitigate guilt, othersenhance guilt. Anger provoked by betrayal still mitigates guilt; but anger provoked byunacceptable moral beliefs may increase guilt. Hate rarely excuses murder, but real fear, even if

not fully justified, might mitigate culpability.Both of these observations assume that people remain rational while under the influence

of emotion; emotion is rarely, if ever, merely a reflex to some external stimulus.11 An angry,disgusted, fearful, or sad person usually can deliberate about his behavior and does not (with thepossible exception of certain kinds of fear) engage in reflexive action. This suggests that people11 As is widely recognized. See, e.g., Patricia Greenspan, Emotional Strategies and Rationality, 110 Ethics 469(2000).


6/41


5

continue to act rationally while in an emotion state, even though they act differently from theway they do in the calm state. One can capture this point by positing that during the emotionstate, people experience usually temporary variations in their preferences, abilities, and/orbeliefs.

Their preferences change so that what psychologists call the action tendency of anemotion becomes relatively attractive. The action tendency of anger is to strike out; so we cansay that a person, while angry, develops a temporary preference to strike the person who offendshim. The action tendency of disgust is to withdraw; a person, while disgusted, develops atemporary preference to withdraw from the disgusting object. Grief produces withdrawal fromother people and preoccupation with the lost person or thing; fear produces flight from a threat;pity produces aid. But before and usually after the emotion state, the persons preferences areconstant (the calm preferences), so he might disapprove of what he expects to do, or did, in theemotion state. It is this inconsistency over time that makes emotional behavior seem irrational;but it is important to see that a person in an emotion state does not act irrationally given histemporary preferences.

Abilities may also change in the grip of an emotion. When the emotion state occurs, theagent may find himself more alert and vigorous, even stronger, or simply less reliant on slow-moving deliberation. The angry person is aroused: he feels less pain, tires less quickly, respondsmore rapidly to movement. The anxious or fearful person becomes more alert to theenvironment, and flees quickly from danger. A grief-stricken person may experience a decline inabilities: everything becomes more difficult to do. Evidence of physiological changes hormonal changes, increase in the heart rate, and so forth supports the view that abilitieschange during some emotion states.12

Finally, beliefs may change during emotion states. An angry person overestimates the

probability that the offender will attack him, or that the provocation was not an accident but theresult of intent to harm or humiliate. A fearful person overestimates the probability of harmassociated with the threat that causes his fear.13 Joyful people underestimate risks of harm,pessimistic people overestimate the same risks.

My claim, then, is that during the emotion state, a person acts rationally, that is, internallyconsistently, given the new and usually temporary preferences, abilities, and beliefs that he hasin that emotion state. The actions taken during the emotion state will, of course, affect theagents endowments, and this may have consequences for his behavior after the emotion state isover; but aside from that I assume that preferences, abilities, and emotions during the calm stateare the same before and after the emotion state.14

My final point is that agents anticipate their emotion states, and take actions inanticipation of them. This brings us to the matter of character. Emotional disposition refers to

12 See Richard E. Nisbett & Dov Cohen, Culture of Honor : The Psychology of Violence in the South 47 (1996).13 See Ohman, Fear and Anxiety 520, in Lewis & Haviland, supra note __ (the fear system is biased sometimes toevoke defense in actually nonthreatening contexts).14 To keep the analysis simple, I focus on changes in preferences and generally neglect changes in beliefs andabilities.


7/41


6

a persons tendency to feel an emotion, which itself is no doubt connected to genetic, cultural,and educational factors. An irascible person is more likely to become angry; a fearful person ismore likely to become scared. People usually know their own emotional dispositions and cantake steps to modify them or to avoid conditions that activate them. Suppose, for example, that aperson knows that if he goes to a rowdy bar, he may be insulted, and further he knows that he is

irascible. Upon being insulted, he might strike the person who insults him. To avoid this, he can(1) knowing about his emotional disposition avoid the bar, or (2) earlier on try to overcome hisirascibility through meditation (or whatever).

These actions are those of a rational person who has self-knowledge, includingknowledge about his emotional disposition. Not all people know everything about theiremotional dispositions, but enough people do enough of the time that we recognize that peopleought to act with attention to their emotional dispositions and blame them if they do not. Indeed,I will argue below that the criminal law does just this. More generally, law cares about emotionsbecause (1) a person responds to incentives differently while in calm states and while in emotionstates, and across emotion states, and (2) a person may have some power to change his or her

emotional disposition or to avoid stimuli that provoke certain emotion states that increase thelikelihood of harm to others.

II. A Framework for Analyzing Law and the Emotions

A. Assumptions

The model of consumer choice assumes that individuals have preferences in the sensethat they are able to rank the various states of the world that will result from their choices. Thesepreferences are consistent, transitive, and complete. A utility function maps the states of theworld to a number, so that we say that an individuals utility rises as he obtains increasingly

preferred states of the world. Individuals have certain abilities, which enable them to engage in aparticular action at greater or less cost; and they have budgets that limit the amount of resourcesthat they can spend in satisfying their preferences.

Economists usually assume that preferences remain stable over the period of timerelevant to analysis. If individuals switch from labor to leisure after an increase of the tax ontheir income, the usual explanation is that the opportunity cost of leisure declines, not that the taxincrease happened to coincide with an exogenously caused change in preferences, though ofcourse the latter is possible as a theoretical matter. The reason for this convention is thateconomics has nothing to say about how preferences change;15 so any economic, as opposed topsychological, explanation for behavior must look to other factors.

I depart from this model, though I hew as closely as possible. I assume that under certainconditions a stimulus will produce an emotion state, during which certain otherwise fixedattributes of the agent change. These attributes then return to what they were before the emotionstate occurred. The attribute on which I will focus is the preference. During the emotion state,preferences reflect a higher ranking of world states that are relevant to the emotion, or, as I willsometimes say, the emotion-relevant good will become more intensely preferred. In addition,15 But see Becker, supra note __.


8/41


7

abilities may change during the emotion state: the agent may become more or less able to convertinputs, like time and energy, into outputs like labor or attack. And beliefs may change during theemotion state: the emotion may cause the agent to believe that an emotion-relevant probability ishigher than the probabilities he attaches to it during the calm state (sometimes, the emotion-relevant probability may be more accurate).16

Stimulus refers to the whole set of environmental or interpersonal conditions that,whether via cognitive interpretation or not, set off an emotional reaction. An insult coming froma stranger could stimulate anger, or merely seeing someone who has offended the agent in thepast. The observation of sewage or rotting meat could stimulate disgust. Receipt of an awardmight stimulate pride or happiness. Learning about a rivals success stimulates envy.Observation of a childs misery might stimulate compassion or pity. In each case, some aspectof the environment acts as a stimulus of the emotional reaction. As should be clear from theseexamples, emotional reaction to a stimulus is not necessarily, or even usually, a reflex action butoften involves an appraisal of surrounding conditions, and all the cognitive work that this termimplies.17

Our final assumption is that people can cultivate their emotions.18 People are self-conscious and generally (though not always) knowledgeable about their emotional dispositions,recognize when these emotional dispositions lead them astray, and take steps to modify them.The idea of cultivating (benign) emotions or even emotionless calm is similar to the simpler actof avoiding stimuli of destructive emotions. A person might seek to control his anger or envythrough meditation, yoga, religious pursuits, and so forth; or by avoidance: he might stop goingto bars where people slight him; he might move away from cities or neighborhoods whereconspicuous consumption is the norm; he might avoid homeless people. In these cases, theperson avoids stimuli of anger, envy, or pity that might get him trouble or simply be unpleasantto experience. Cultivation of emotional dispositions and simple avoidance are, of course, very

different behaviors, but they can be usefully treated as the same for purpose of analysis.

Students of the emotions will notice that the framework is better suited to some emotions(fear, disgust, anger) than others, such as love and jealousy. The higher emotions are morecomplex, have great cognitive content, have less distinct physiological manifestations, are lessuniform across cultures, have fewer obvious correlates in animals, and are to get to the point

16 The notion that preferences, abilities, and beliefs change during the emotion state is meant to capture in a veryschematic way the affect program theory of the primary emotions (surprise, fear, anger, disgust, sadness, joy).See, e.g., Paul Ekman, Emotions in the Human Face (1972). The most important idea associated with this theory isthat the primary emotions have a biological basis and evolutionary explanation, and that they act as cognitive

shortcuts, as opposed to ordinary, deliberative cognition, in which people react in adaptive ways to (often,threatening) stimuli even when this means ignoring certain beliefs (like being scared in the dark even though oneknows that there is nothing to be afraid of). A very useful discussion can be found in Paul E. Griffiths, WhatEmotions Really Are ch. 4 (1997).17 This is the standard view in psychology. See, e.g., Lazarus, supra note __, at 149-52. Appraisal refers tocognitive processes by which the agent ascertains the personal significance of the stimulus, how it can be dealt with,what it means for his goals, and so forth. Id.18 For a similar idea, see Richard H. Thaler & H.M.Shefrin, An Economic Theory of Self-Control, in Quasi RationalEconomics (Richard H. Thaler 1991). Thaler and Shefrin analyze self-control as a purely cognitive phenomenon,and do not discuss emotions.


9/41


8

more poorly understood by psychologists.19 Fortunately, they also seem to play a smaller role inthe law, and I will, for the most part, avoid them.

B. Order of Actions

Our simple model of the emotions assumes a stylized order of events, represented by thetimeline in Figure 1:

Figure 1

__|_____________|_______|________|____________________invest stimulus act end post-state

----emotion state----

The first event is the agents investment in either cultivating an emotional disposition or

avoiding conditions that will stimulate the emotion. The second event is the application of thestimulus that provokes an emotion.

Next comes the emotion state. This refers to the actual occurrence of the emotion. Itmay last for an instant or for a very long time. For example, the agent might be angered whensomeone pushes him from behind, but the anger disappears almost immediately when he seesthat the person who pushed him had tripped on his shoelaces. Envy might fester for months oryears; love and grief also may last for a very long time. In any event, for purposes of analysis itis assumed that the emotion ends at some definite point and the non-emotional or calm statereturns, which here may be designated the post-state condition.

During the emotion state the agent chooses to act, just as he does before the state. Thesame set of choices presents itself to the agent as before, except of course that the change inenvironment that stimulates the emotion might introduce new choices. Before the stimulus, theagent has no desire to injure person P; after P insults him, he now has such a desire, and may acton it. But he may not. As noted earlier, the emotion state affects the agent by changing hispreferences so that the emotion-relevant goods are more heavily weighted, and by increasing orreducing his cost of action. Sanctions and other costs thus continue to influence the agentschoice; what is different is that the costs and benefits of action differ, slightly or greatly, fromwhat they were during the calm state.

After the emotion state ends, the agent returns to the calm state, which means that his

preferences and abilities return to what they were in the pre-emotion state. But his actionsduring the emotion state will have changed his endowments, so he may be better or worse offthan he was before the emotion state occurred.

The timeline highly simplifies even the simplest emotions. One problem is that anemotional experience can be relived, not just reimagined, and so an emotion state will tail off,and sometimes renew itself later in time. I observe a disgusting slime; I withdraw and soon19 See Griffith, supra note __, at 100-06.


10/41


9

forget about it; later the appearance and smell of the syrup I am pouring on my pancakes remindsme of the slime, and I am again disgusted. Similarly, my anger at an insult renews itself everytime I am reminded of the insult. This complexity needs to be kept in mind.

C. Analysis

The agents choice during the emotion state can be represented using the standardgraphical rendering of consumer choice, as in Figure 2. The vertical axis represents theamount of the emotion-relevant good (Y). If the agent is angry, the axis represents the degreeof injury inflicted on the person at whom the agent is angry; if the agent is disgusted, the axisrepresents the degree of withdrawal from the object of disgust; if the agent is in love, itrepresents some measure of benefit to the beloved as experienced by the agent. The horizontalaxis represents all the other goods that the agent wants to consume (X).

[FIGURE 2]

The graph depicts the agents normal or calm-state indifference curve (UN) and thecorresponding emotion-state indifference curve (UE). The emotion-state indifference curve isflatter than the calm-state indifference curve, representing the fact that in the emotion state theagents preferences for the emotion-relevant good become more intense. The result is that theagent will give up more of the ordinary goods, than in the normal state, in return for a constantincrease in his consumption of the emotion-relevant goods. The graphical rendering assumesthat the budget line (B) is the same in the calm and emotion state, though as noted above it ispossible that the budget lines would diverge. The emotion-state budget line might shift out or in:out, if the emotion makes action cheaper (anger); in, if the emotion makes action more costly(grief). One might assume that, say, anger makes all actions cheaper, in which case the budgetline shifts out in a uniform manner. Alternatively, one might assume that the emotion makes the

emotion relevant good cheaper, in which case the budget line tilts, as when it represents a changein price.

When emotions make action cheaper, consumption of the emotion-relevant good willincrease, and consumption of the other goods will either increase or decrease. When emotionsmake action more costly, consumption of the two kinds of good may rise or fall. And even whenemotions do not change the cost of behavior, they do change preferences, so the pattern ofconsumption will change. As a result, the agents emotional behavior will usually put him on alower indifference curve measured by calm state preferences (the exception being when emotionreduces the cost of action by a sufficient amount). Call this change the emotion-provoked utilitychange (EPUC). A person who lashes out at an enemy while angry might be better off, with

positive EPUC, after the emotion state returns, because the enemy has removed himself, orbecause the agent has developed a reputation for toughness; or he may be worse off, withnegative EPUC, because the enemy struck back, or because the agent now finds himself in jail.20

A person in the initial calm state knows that his emotional disposition might get him in

20 In addition, the person may anticipate or regret the his emotion-state actions simply because they are not theactions he would have taken if he had been in the calm state; in other words, his emotion-state consumption patterndiffers from his hypothetical calm-state consumption pattern, and this alone might be thought of as a utility decline.


11/41


10

trouble or benefit him. This depends on the environment. A person with an irascible dispositionmight do well in a shame society: people avoid abusing him because they fear him. But he mightdo poorly in a well-regulated society: a routine altercation might spiral into a fight, landing theagent in jail. The first person has a positive expected EPUC; the second person has a negativeexpected EPUC. (EPUC is defined only with reference to the emotion under consideration: the

same person might be easily disgusted or not, and this might be beneficial in some contexts butnot others.) The second person can be expected to invest to minimize his actual EPUC: bycultivating a sense of calm, or by avoiding places, like bars, where he is likely to be provoked.

It is important to emphasize that EPUC is determined by the calm-state preferences, notthe emotion-state preferences, even though it is generated by actions taken during the emotionstate. This is necessary in order to capture the idea that people in their normal state are differentfrom what they become in an emotional state, and also that, anticipating this, people will engagein certain actions in the normal state.

At the investment stage, the agent knows that he may experience the stimulus with some

probability. To keep the analysis simple, let us suppose that during the emotion state,preferences change but abilities and beliefs do not. The difference between the agentspreferences during the calm state and the emotion state depend on the quality and intensity of theemotion, which is reflected by the slope of the emotion state indifference curve. As can be seenin Figure 3, the agent will typically consume a different bundle of goods during the emotion stateand during the calm state, just because of the change in preferences. This means that after theemotion state has subsided and his calm preferences have returned, the agent will be eitherworse off (as in Figure 3) or better off than he had been in the calm state. If he is worse off, thenwe can construct a WTP measure of the difference by constructing a hypothetical budget line inthe usual manner. In Figure 3, the agent would be willing to pay the amount depicted in order toavoid the consumption results of the emotion state.21

[FIGURE 3]

Ex ante, the agent knows that the change in consumption wrought by the emotionalresponse will occur with some probability, and so initial investment will reflect this expectedchange. Investment in the current example would be to (1) avoid the stimulus, or (2) cultivate aless sensitive disposition. Sometimes a dollar of investment will be relatively effective(switching from one bar to another) and sometimes not (developing an ability to turn the othercheek). The effectiveness of the investment in this way will be denoted by the elasticity of theemotional response with respect to the investment. A high elasticity indicates greaterresponsiveness. This allows us to make the following prediction:

People will invest more in cultivating dispositions or avoiding stimuli as (1) the quality

and intensity of the emotion state increases relative to the calm state (that is, as EPUC

increases); and (2) the elasticity of the emotion state with respect to the investment

21 In Figure 3, the agents emotion-state behavior results in the bundle of goods located at the tangency of UE and B.This puts him on the lower calm-state indifference curve, UN. To make him indifferent between this bundle and theoriginal calm-state outcome, the agent must be paid the amount denoted by EPUC.


12/41


11

increases.22

As an example, consider anger. Anger can occur in predictable and unpredictable ways.If the agent already hates a person, then he knows that if he encounters that person, there is agood chance that he will become angry. By contrast, an agent cannot predict when a stranger

will offend him, and he might suppose that his anger will on average be less from a randomincident involving a stranger than with someone he already knows and hates. Thus, it makesmore sense to punish people who are provoked into anger by someone they hate and could avoid,than to punish people who are provoked into anger during a random encounter with a stranger.The former are in a better position during their calm state to avoid the encounter, and it is duringthe calm state that they are more responsive.

Suppose, instead, that an agent knows about his irascible disposition and has taken anumber of steps to change it. He attends anger management classes. He avoids rowdy bars. Heavoids drinking. Nonetheless, he is provoked to anger and he injures the offender. It againmakes sense to reduce the sanction in order to reward and encourage his behavior during the

calm state. By contrast, people who cultivate angry dispositions should be punished.

D. Objections

The approach I use drapes the emotions loosely over the rational choice framework,rather than reducing emotions to matters of choice, or eschewing rational choice altogether. Thebenefit of this approach is that it allows one to incorporate emotions into the vast rational choiceliterature, rather than start afresh on uncharted terrain. In a similar way, the cognitivepsychology literature has benefited by using expected utility theory as a baseline, and showingthe ways in which individuals depart from the predictions of that theory, rather than (for the mostpart) proposing alternative theories of choice. This has allowed people who are skeptical of

rational choice models to take advantage of the law and economics literature even whilecriticizing its arguments.

Nonetheless, one can criticize the framework both for departing too much and too littlefrom the rational choice approach. Too much, because the assumption that preferences and otherattributes change during emotion states seriously weakens predictability. This seems to meunavoidable; where the rational choice element remains is in (1) the insistence that peopleremain rational during the emotion state, so that their behavior will bear some resemblance tocalm-state behavior, and remain responsive to incentives; and (2) the insistence that people cananticipate and plan around their emotions, by cultivating emotional dispositions and avoidingstimuli. This leaves some room for predictions, as the discussion of criminal law below will

show; but it must be acknowledged that the main advantage of the rational choice framework isnot the generation of predictions, but the stripping away of conceptual clutter, which allows amore careful analysis of the ways in which emotion changes the conclusions of existing rationalchoice work. It also allows one to examine the complex normative consequences of the fact thatpeople when calm often disvalue their preferences while emotionally agitated and sometimes

22 A natural extension of this argument is that parents will inculcate the relevant emotional dispositions in theirchildren, at least to the extent that parents have their childrens interests at heart.


13/41


12

want their emotional behavior to be restrained.23

One can also argue that the framework departs too little from the rational choiceapproach. It is clearly a simplification. Even during the calm state people are affected byemotions. Just imagining the consequences of future actions may provoke an emotional reaction,

which, though likely to be less intense than the emotions that would be felt during the actions,are still strong enough to affect deliberation, so that preferences may exhibit a muted instabilityeven during the calm state, with the choice of action dependent on the agents ever-changingimaginative resources. Further, after the emotion state is over, recollection of the stimulus mayprovoke the emotion anew, and so every emotion state may effect a permanent change inpeoples preferences. Finally, I have acknowledged that the framework is more suitable foranalyzing simpler emotions, and not the more complex and long-lasting emotions like love.

I have also ignored many difficult philosophical and psychological questions aboutemotions. My justification is my focus on legal questions; lengthy discussion of philosophicaland psychological questions would distract from the simple but important conclusions about the

law, and in any event these questions are already handled by many others. I should note inpassing a philosophical issue that I ignore, just because it has appeared in some legal analysis.24

This issue is the cognitive content of emotion.25 Some people argue that emotions are constraintson cognition: certain choices available to someone who is calm become unavailable when he issubject to emotion. For example, it appears to be impossible not to jump back from a strikingsnake. Others argue that emotions are themselves cognitive evaluations of states of affairs: griefabout someones death, for example, represents a judgment about that persons value to theagent. Most of my conclusions assume that emotions have some cognitive component thatemotional responses involve choices based on emotion-state preferences but I do not makebroad claims about the nature of emotions.

One charge that cannot be ignored is that the rational choice approach is internallyinconsistent. This argument is implicit in Elsters discussion of Beckers model of guilt, inwhich guilt is assumed to be just a preference.26 Elster argues:

If guilt were nothing but an anticipated or experienced cost, an agent whose guilt detershim from stealing or retaining [a] book should be willing to buy a guilt-erasing pill if itwas sufficiently cheap. I submit that no person who is capable of being deterred by guiltwould buy the pill. In fact, he would feel guilty about buying it. For him, taking the pillin order to escape guilt and be able to steal the book would be as morally bad as juststealing it.27

To see the problem with this argument, imagine that the agent has a moral dilemma. Hemust betray his lover or his country, and in either event he will feel tremendous guilt. Once hehas made the decision, a desire to behave morally does not require the agent to continue to

23 See especially Parts V, VI, and VII.24 See Kahan & Nussbaum, supra note __.25 See Izard, supra note __, at 35-40.26 Becker, supra note __, at 152-55.27 Elster, supra note __, at 303 (emphasis in original).


14/41


13

endure the guilt (which may be overwhelming, paralyzing), and surely he is permitted to take thepill. Indeed, some people might recognize that their overwhelming sense of guilt, which theyattribute to factors outside themselves such as a psychologically destructive upbringing, preventsthem from doing good things, and would take the pill without becoming, or believing themselvesto be, immoral, and without losing the capacity to act morally. That shame and guilt can be

paralyzing and destructive, at both the individual and social level, is an old theme inpsychology.28 The source of Elsters confusion is his entanglement of moral and emotionalmotivation. A moral person does not want to behave immorally, but he may want to have greatercontrol over his emotions when otherwise his emotions would lead him morally or prudentiallyastray.

The difference between emotion and morality is clearer when one moves from guilt toother emotions. Consider a skillful doctor who is paralyzed by feelings of disgust during certainkinds of surgery; or a soldier or police officer who knows that his fearful disposition endangersother people. Surely, these people can, without fear of conceptual self-contradiction, take pillsthat reduce or eliminate, temporarily or permanently, their ability to experience disgust or fear.

Elster is correct that emotions are more than merely preferences, and if his only pointwere that a cost-benefit perspective on emotions necessarily excludes many relevantconsiderations, he would also be correct. But his further point that this perspective is incoherent,and so cannot shed light on behavior, is false.

III. Emotion in Criminal Law

It is sometimes said that a person who commits a crime under the influence of emotion isless culpable than a person who acts calmly and deliberately. The standard example is of murderbeing reduced to voluntary manslaughter if the defendant acted in an uncontrollable rage. But

the truth is more complex. Certain emotion states reduce murder to voluntary manslaughter, butothers do not. For example, under modern hate crime laws a person who kills a gay man becausehe hates gays or is disgusted by gays will be found more culpable than someone who killsthe same man just to get his wallet. This raises the question whether the criminal laws differenttreatments of emotion-influenced crime can be explained on deterrence grounds.

There are two relevant considerations in a deterrence approach to emotional crimes. Thefirst consideration is the extent to which an agent in an emotion state is responsive to sanctions.The second consideration is the extent to which an agent can be deterred from being in theemotional state in situations in which it may lead to harm.

Emotion state deterrability. A person in an emotion state may be sensitive to sanctions.Deterrability depends both on (1) the kind of the emotion and (2) the intensity. In the emotionstate a person experiences a heightened preference, relative to the calm state, to consume theemotion-relevant good. But the person has other preferences as well. An angry person wants to

28 See, e.g., David W. Harder, Shame and Guilt Assessment, and Relationships of Shame- and Guilt-Proneness toPsychopathology 368, in Self-Conscious Emotions: The Psychology of Shame, Guilt, Embarrassment, and Pride(June Price Tangney & Kurt W. Fischer eds. 1995) (discussing the relationship between shame and guilt, andpsychological disorders such as depression, substance abuse, suicide, and delinquency).


15/41


14

strike the offender, but many angry people restrain themselves because they continue to wanttheir freedom, their job, their assets, and the other good things they might lose if convicted ofassault or murder. But even putting this aside it is important to realize that most emotions anger is the conspicuous exception do not create a powerful preference to harm another person.Disgust typically involves a preference to withdraw, not to attack, and that is why disgust rarely

excuses assault or murder. Fear typically involves a preference to flee or freeze, not to attack,though attacking may be a reaction in some cases, and panic may lead to harm when the agent isresponsible for the well-being of an infant or incompetent person. Although a disgusted orfearful persons indifference curve will tilt dramatically, it does not tilt in the direction ofinjuring another person; indeed, that preference will become weak relative to the desire to escapethe stimulus.

In addition, a persons emotion state can be more or less extreme relative to the calmstate. A person can be made more or less angry by a provocation. A mere insult will, onaverage, anger a person less than an unprovoked slap on the face. Graphically, an angry personsindifference curve may shift out a lot or a little; if a little, then his behavior will change

correspondingly. A slightly angry person will suppress the desire to lash out if the consequencesare more than trivial, and may, if at all, indulge his preference by muttering or complaining aboutthe offender to a third party.

Both these observations explain why from a deterrence perspective being in an emotionstate is not a sufficient condition for reduced culpability. A person remains deterrable if,generally speaking, the emotion is not anger, or the emotion is anger but it is not intense. Itmakes sense to reduce the sanction for an act committed during an emotion state if (1) theemotion is anger (or another emotion that causes people to injure others, like fear, possibly) andit is quite intense, so that high expected sanctions cannot deter the behavior, and (2) sanctions arecostly, which they are when they involve imprisonment.29 The justification is that expensive

sanctions should not be wasted on people who cannot be deterred by them.

30

Pre-emotion (calm) state deterrability. Imagine that a person in an emotion state isundeterrable. The sanction cannot be made high enough to prevent him from acting. It does notfollow that he must be excused from a crime that follows from the action tendency.

To see why, one must observe that a person in the calm state often foresees the stimulithat will provoke the emotion state and also his actions in the emotion state. The calm statepreferences might very well reflect some things (a long-term desire to stay out of jail) and notother things (an immediate desire to strike an offender) that are the reverse in the emotion state.Thus, acting on his calm state preferences the person might take precautions against entering the

emotion state, including cultivating more peaceful emotions or avoiding the stimulus, though he29 Cf. Richard A. Posner, Emotion versus Emotionalism in Law 312-13, in Bandes, supra note __ (arguing thatunemotional murder should receive a higher sanction, compared to emotional murder, to the extent that theemotional murderer is less dangerous and easier to catch, but a lower sanction, to the extent that people in the grip ofemotion are less deterrable). See also Richard A. Posner, An Economic Theory of the Criminal Law, 85 Colum. L.Rev. 1193, 1223 (1985).30 I put aside the benefits from incapacitation; and also the benefits from discouraging provocation, on which seeAlon Harel, Efficiency and Fairness in Criminal Law: The Case for a Criminal Principle of Comparative Fault, 82Calif. L. Rev. 1181 (1994).


16/41


15

will not if he thinks that his irascibility produces returns valued in the calm state, including areputation for toughness. In any event, sanctions may be desirable for influencing investmentbehavior during the calm state.

Reducing the sanction for emotional behavior, relative to unemotional behavior, is

justified even when the sanction does not deter emotion state behavior when (1) the calm statepreferences and emotion state preferences differ only a little (EPUC is low); (2) the agent cannotavoid the stimulus or reduce the intensity of his emotional reaction at relatively low cost(elasticity is low); and (3) sanctions are relatively expensive (jail, not fines). (Note that this putsaside the incapacitation goal of imprisonment, which may justify imprisoning highly dangerouspeople who engage in undeterrable conduct.) The first factor essentially refers to the benefit theagent obtains by avoiding the emotion state; the second factor refers to the cost of avoiding theemotion state. Even putting aside sanctions, we expect people who very much dislike thepreferences of their emotion-state selves to take steps to avoid the emotion state unless thosesteps are very costly. The criminal law must take account of this first stage of action.

Table 1 summarizes the argument so far.

Table 1

emotion-state deterrabilityhigh low

high punishpre-emotionstate deterrability

low do not punish

Table 1 shows that the strongest case for reducing criminal punishment on deterrence groundsoccurs when the agent cannot be easily deterred in the emotion state and cannot easily avoid the

emotion state either by avoiding the stimulus or changing his temperament.31

The emotion has tobe the right type (anger or fear, typically) and it must be intense. When these conditions are notmet, the case for reducing the punishment is weaker.

Some examples. Murder is reduced to voluntary manslaughter not just when thewrongdoer acts under the influence of emotion. The emotion usually must be anger, not (say)disgust. Anger causes people to attack others; disgust causes them to withdraw. The anger mustbe intense, not mild: a provocation that would excuse murder in the heat of passion does notexcuse murder committed a while later.32 Distinctions regarding the adequacy of provocationcan be understood in terms of the elasticity of investment. People who kill adulterous spousescan hardly be expected to avoid the stimulus (not get married in the first place?). But people

who look for trouble in bars, especially homophobes who look for trouble in gay bars, couldeasily avoid provocation that leads to murderous rage. Kahan and Nussbaum want to put in thesame category as murderous homophobes, women who kill brutal husbands and men who killadulterous wives or girlfriends,33 so that they can argue that the laws inconsistent treatment ofhomophobes and these other wrongdoers contradicts the deterrence argument. But a woman who31 Again, I put aside incapacitation.32 People v. Ashland, 128 P. 798 (Cal. Ct. App. 1912).33 Kahan & Nussbaum, supra note __, at 311.


17/41


16

kills a drunken, brutal husband is unlikely to be a threat to the rest of society, or even to futurehusbands or boyfriends so long as they are not also drunken and brutal. A man whose wife orgirlfriend cheated on him cannot be expected to refrain thereafter from any relationship withanother woman. These people are not generally as dangerous as the person whose hatred causeshim to kill homosexuals, and it is less difficult for a homophobe to avoid gay bars than for men

and women to avoid having relationships with each other. Of course, those among the latter whoare as dangerous those who kill multiple husbands or wives are punished more seriously.

Similar comments apply to the case of fear. Louise Woodward, who was hired as ananny, was found guilty of killing the infant in her care, but the trial judge reduced a verdict ofsecond-degree murder to manslaughter on the ground that the evidence disclosed confusion,fright, a bad judgment, rather than rage or malice.34 Supposing that Woodward really waspanicking, the explanation for reducing the conviction is that sanctions do not deter people whoare gripped by fear, and although most panicking people do not attack others, it is possible that aterrified caregiver might injure a child. One might argue that severe sanctions would deter fear-prone people from becoming nannies, but fear-induced killing is so rare and bizarre that the

elasticity of investment with respect to fear must be considered quite low. Should the convictedkiller take on a new position as nanny, however, and while panicking kill that child as well, oneanticipates a very high sanction. She should have learned of her own unreliability, and avoidedsituations in which it could harm third parties.

Not all emotions should reduce the sanction. Hate crime laws increase, rather than,reduce sanctions, even though the racist killer more plausibly acted under the influence ofemotion than, say, the contract killer. The reason that hate results in greater punishment, whileanger often results in a lesser punishment, is that hate is more susceptible to pre-emotion-statemanipulation than anger is. The person who hates members of a particular race can often avoidinteracting with them; he can also take care not to carry weapons. The person provoked to anger

by adultery is not in a similar position. The two emotions differ on the dimension of elasticity.

Turning now to the defense of duress, Kahan and Nussbaum ask us to compare (1) awoman who commits armed robbery to avoid being beaten up; (2) a woman who fails to protecther child in order to avoid being beaten up. Woman 1 has a duress defense; woman 2 does not.Kahan and Nussbaum say that this is inconsistent with the narrow consequentialist view thatpeople who are susceptible only to extreme threats do not pose a danger to others, so punishmentwould be wasteful.35 But the law makes sense on deterrence grounds. Sanctioning woman 1 isnot likely to change behavior because a person gripped by fear develops a strong preference forself-preservation and ordinary altruistic concerns diminish. But ordinary experience suggeststhat altruism for ones own child remains salient even for a scared person. When we are

threatened, we run away if alone but grab our children if they are with us. If this is not true forour woman 2, then a heavy sanction might offset her subjective gain, and it is no more surprisingthat we punish her than that we punish anyone who engages in child abuse. Kahan andNussbaum argue a consequentialist argument assumes that legal decisionmakers are prepared toendorse the first womans valuation of her own welfare but not the second womans.36 But this

34 See Samuel H. Pillsbury, Harlan, Holmes, and the Passions of Justice 355, in Bandes, supra note __.35 Kahan & Nussbaum, supra note __, at 335.36 Id., at 336.


18/41


17

is not right. We want neither woman to commit a crime: but we punish the first woman lessbecause a sanction is less likely to deter her.

The theory explains historical changes in the treatment of cuckolds who murder spousesdiscovered in flagrante, interracial murders, people who murder homosexuals who proposition

them, battered women who murder husbands, and so forth.37

As societys evaluation of thebehavior changes, it increases or reduces sanctions accordingly, in order to encourage people toinvest in proper emotional dispositions and to avoid provocation otherwise, not just in the hopethat the prospect of sanctions will influence the agent while in the emotion state. Anger andshame become less important and desirable sources of social order as the legal systemmodernizes; so over time, law will excuse less behavior motivated by anger and shame, in thehope of encouraging people to invest in the proper emotional dispositions.

A final point is that the criminal law should vary from region to region if there is cross-cultural variation in average emotional disposition. Nisbett and Cohen provide experimentalevidence that in the United States southerners are more easily provoked to anger by an insult

than northerners are.38

If, as seems likely, the elasticity of investment with respect to anger statesis low, then we would expect southern states to punish crimes committed while angry and inresponse to provocation, less than northern states, holding constant the cost of imprisonment.Because southerners are less likely to respond to sanctions while angry, already take more care toavoid provocation, and are unlikely to be able to modify dispositions that are mostly the result ofupbringing, scarce prison resources are better devoted to deterring other crimes, than in thennorth.39

Regret. A prominent feature of criminal sentencing is the defendants expression ofregret or refusal to express regret. If the expression is sincere, then it is highly relevant to thepurposes of criminal punishment, for it reveals the distance between the defendants calm state

preferences and emotion state preferences if the crime occurred in an emotion state. If thedistance is great, then the deterrence goal requires a reduction in the sentence, all else equal,because that suggests that the defendant will when calm take steps to avoid the emotion state(EPUC is high), so that criminal behavior is unlikely to recur, and a severe sanction is notnecessary to deter further criminal behavior. Defendants who do not express regret for criminalbehavior are dangerous because their calm state preferences are antisocial, and they should bepunished either for the purpose of deterrence (if they are deterrable) or incapacitation (if they arenot deterrable but are sufficiently dangerous).40

A note on tort. The analysis of emotion in tort law is similar to the analysis for criminallaw. Suppose that an individual must drive to work every day but is subject to, and knows

himself subject to, road rage when other drivers cut him off. While under the influence of road37 Id., at 346-50.38 Nisbett & Cohen, supra note __, at 50-53.39 Indeed, southern states are more tolerant of domestic violence than northern states are, id., at 66, which isconsistent with the claim that states would not devote prison resources to crimes that cannot easily be deterred.Nisbett & Cohen point out that southern states are more likely carry out capital punishment than northern states are,id., at 70, but they do not relate this statistic to provocations. I conjecture that capital punishment and other extremepunishments are less likely imposed in the south when murders are provoked by insults.40 For a more rationalistic explanation, see Eric A. Posner, Law and Social Norms 107 (2000).


19/41


18

rage, the individual drives much more carelessly than when he is calm; for example, he mightdrive more quickly and pay less attention. Formally, his emotion state preference to drivequickly is more intense than his calm state preference to drive quickly (or, alternatively, the costof driving carefully increases). For concreteness, suppose that the individuals cost of drivingcarefully is $100 when enraged, but the cost is only $10 when the individual is calm. Further,

suppose that the social cost of driving quickly is $50 in expected accident costs imposed on thirdparties. A negligence rule, technically applied, would excuse the enraged driver from liability,whereas strict liability would require him to pay $50 in expected terms. Strict liability is thesuperior rule, for it would encourage the calm state person, who is stuck with the $50 liabilityimposed on him by his emotion state self, to switch to public transportation or avoid congestedstreets where road rage is more likely provoked. Alternatively, the individual could be heldnegligent for not taking public transportation when he knows himself subject to road rage, just asan epileptic is held liable for driving with knowledge of his epilepsy.41 The latter alternativeachieves the same result as strict liability by counterfactually attributing calm state abilities andpreferences to the emotion state self that causes the accident.

IV. Juries

There is a widespread view that jurors should deliberate calmly and dispassionately,rather than in a state of emotion. This is why judges should not admit prejudicial evidence, thatis, evidence that (among other things) excites the emotions.42 This view also is behind resistanceto victim impact statements. But there is an alternative view. Some critics of capital punishmentargue that the current sentencing practices suppress jurors natural empathetic reaction to thedefendants position. These critics seem to argue that emotion should play a role in capitalsentencing.43 And defenders of punitive damages often say that this remedy is an appropriateform of expressing outrage at the defendants conduct.

To understand this debate, one needs a clear view of what juries are supposed to do. Forsimplicity, let us focus on the problem of determining liability (rather than punishment orsentencing). Juries are supposed to determine whether a civil plaintiff has proved his case to bemore likely than not. Let us take a simple negligence case in which the only relevant variablesare (to simplify again): the defendants precaution, the probability of the harm given thatprecaution, and the actual harm.

Suppose that the plaintiff wants to show the jury a photograph of the victims goryinjuries. The photograph would predictably elicit a feeling of disgust among the jurors. Theywill look but avert their faces, feel nausea, and so forth. Let us suppose the feeling of disgustlingers through their deliberations, perhaps because the deliberations involve continual

examination of the photograph or they provoke memories of the photograph and with them thesensation of disgust. The question is whether these feelings are likely to interfere with the jurys41 A person will not ordinarily be held negligent if he crashes during a heart attack, epileptic seizure, or insanedelusion, unless he knows about the condition in advance, in which case he is expected to take precautions, like notdriving. See, e.g., Breunig v. American Family Insurance Company, 173 N.W.2d 619, 623 (WI 1970).42 See Federal Rules of Evidence, Rule 503.43 See Craig Haney, Violence and the Capital Jury: Mechanisms of Moral Disengagement and the Impulse toCondemn to Death, 49 Stan. L. Rev. 1447 (1997); see also Dan M. Kahan, The Anatomy of Disgust in CriminalLaw, 96 Mich. L. Rev. 1621 (1998).


20/41


19

ability to evaluate precautions, probabilities, and harms.

The answer is probably no. The action tendency of disgust is withdrawal from the objectand is felt most strongly in the presence of that object. During that limited period of time, theagents normal cognitive capacities may be short-circuited. But the farther removed the object is,

the less intense the action tendency is, and the more likely the agent is to take account of the restof the world. I think this is true even if the image of the disgusting object renews itself in theagents mind as he deliberates about the appropriate outcome of the case. In any event, becausedisgust does not cause people to want to punish, it does not seem likely that a disgusted jury willreact by exaggerating the harm imposed on the victim and awarding incorrect damages.

The photograph might also provoke anger or horror. These emotions are moretroublesome. If the jurors feel anger at the defendant, they might want to punish him, eventhough the repulsiveness of the injury has nothing to do with the defendants culpability. Amerely negligent defendant whose tort severely disfigures the victim should not be forced to paymore than a reckless defendant whose tort has, say, purely pecuniary consequences or less

disfiguring physical consequences, holding the extent of the harm constant. It is not clear,though, that jurors would make this error. Their anger is not based on a personal insult againstthem, but is more akin to the indignation that one feels on learning of a wrong, and it is not clearthat indignation results in the same tendency to inflict harm.44 On the other hand, someexperimental evidence suggests that people in a state of anger or outrage will punish thedefendant more harshly than they would otherwise, even though they are not directly harmed.45

This concern, that blood will have blood, seems to lie behind judicial decisions to exclude goryphotographs when their probative value is outweighed by their prejudicial impact.46

Can emotions improve the jurys ability to make a correct judgment? It is tempting tothink so, because emotions are often adaptive. A standard argument about fear, for example, is

that it enables an organism to escape threats; and if the flight response is often inaccurate,resulting in fear when a threat is not actually present, false positives are in this context much less

44 See William Ian Miller, The Anatomy of Disgust 188-93 (1997); Martha C. Nussbaum, Secret Sewers of Vice:Disgust, Bodies, and the Law, in Bandes, supra note __, at 26-29.45 This was true even if the anger or outrage was provoked by events (like a movie) that were irrelevant to the case.See Julie H. Godlberg, Neffier S. Lerner, & Philip E. Tetlock, Rage and Reason: The Psychology of the IntuitiveProsecutor, 29 Eur. J. Soc. Psychol. 781 (1999); Jennifer S. Lerner, Julie H. Goldberg, & Philip E. Tetlock, SoberSecond Thought: The Effects of Accountability, Anger, and Authoritarianism on Attributions of Responsibility, 24Personality & Soc. Psychol. Bulletin 563 (1998). For some work on juries and emotion, see Cass R. Sunstein,David Schkade, & Daniel Kahneman, Do People Want Optimal Deterrence?, 29 J. Legal Stud. 237, 248 (2000)(arguing that feelings of outrage account for awards of punitive damages in experimental settings); Cass R. Sunstein,

David Schkade, & Daniel Kahneman, Assessing Punitive Damages, 107 Yale L.J. 2071 (1998) (same); W. KipViscusi, Corporate Risk Analysis: A Reckless Act?, 52 Stan. L. Rev. 547 (2000) (finding that punitive damages risewhen corporations engage in cost-benefit analysis); Reid Hastie, David Schkade, & John Payne, Juror Judgments inCivil Cases: Hindsight Effects on Judgments of Liability for Punitive Damages, 23 Law & Human Behavior445(1999).46 See, e.g., United States v. Rezaq, 134 F.3d 1121, 1138 (quoting William Shakespeare, Macbeth, Act 3, sc. 4, andtranslating into legalese: photographs of gore may inappropriately dispose a jury to exact retribution); Navarro v.Hospital Pavia, 922 F.2d 926 (1st Cir. 1991) (affirming exclusion of photograph of decomposing corpse of fetus inmedical malpractice case); Campbell v. Keystone Aerial Surveys, Inc., 138 F.3d 996 (5th Cir. 1998) (excludingphotograph of burned and mutilated corpse).


21/41


20

important than false negatives.47 The problem with this argument is that the law takes account ofproblems of proof with evidentiary and procedural rules, and assumes that the jury will simplymake its best judgment. To continue with our example, emotion will not improve the jurysability to determine the cost of the defendants precaution or the likelihood that the precautionwould produce the injury complained of. Emotion will not improve the jurys ability to measure

medical costs, financial losses, and similar measurable harms. And it seems likely, though theissue is more arguable, that emotion will not improve the jurys ability to measure pain andsuffering. Although a gory photograph might bring home to a jury the extent of the injury, andthe fear it might have produced, there is no reason for thinking that the jurys response will beaccurate. The jury that does not see the photograph might underestimate the pain, and the jurythat sees the photograph might overestimate the pain, but there is no reason to believe that oneestimate will be close to the truth than the other. And to the extent that the gory photographhelps the jury estimate the pain, this should be understood as a cognitive improvement broughtabout by increased information. The horror of the situation depicted, if it results in outrage, islikely to produce erratic awards.48

These considerations bear on the debate on the use of victim impact statements in capitalsentencing. Proponents of the use of these statements have argued that by creating pity for thevictim and the victims family, the statements counterbalance the natural sympathy that jurorsfeel for the criminal defendant, whose presence in the courtroom gives him an empathicadvantage. Opponents argue that the statements distract the jury with irrelevant information andinflame them against the defendant. 49 If the purpose of capital punishment is to deter murder orincapacitate murderers, then pity and outrage are surely irrelevant to capital sentencing. Theonly relevant consideration is the dangerousness of the criminal, something that can be evaluatedwithout emotional involvement. Jurors gripped by fear, pity, or outrage will overestimate orunderestimate the danger posed by the defendant. To banish these emotions, victim impactstatements like other forms of evidence should contain only relevant facts. If the purpose of

capital punishment is to express outrage or vindicate retributive instincts, then it still is the casethat jurors should behave unemotionally in making the appropriate determination. There is noreason why victim impact statements should be treated differently from other forms of evidence:they should be permitted unless their prejudicial effects outweigh their relevance. 50

Little else can be said at this high level of abstraction, but empirical testing would shedlight on these issues. It is common in psychological research to test the effect of emotions on

47 See supra note __.48 See Sunstein, Schkade, & Kahneman, Assessing, supra note __.49 The positions are detailed in Booth v. Maryland, 482 U.S. 496 (1986) (holding that victim impact statements in

capital sentencing violated the eighth amendment); Payne v. Tennessee, 501 U.S. 808 (1990) (overrulingBooth).50 On the emotional involvement of jurors in capital sentencing, see Stephen P. Garvey, The Emotional Economy ofCapital Sentencing, 75 NYU L. Rev. 26 (2000). He found that jurors were more likely to vote for death (in the firstvote) when they felt anger or rage toward the defendant, less likely when they felt pity or sympathy both withstatistical significance. There was no statistically significant correlation between disgust and the likelihood ofvoting for death. Id., at 63. See also R. Posner, supra note __, at 325-27 (defending victim impact statements toprevent distortion of empathetic consideration that would occur given that defendants can provide evidenceintended to elicit mercy from the jury); Susan Bandes, Empathy, Narrative, and Victim Impact Statements, 63 U.Chi. L. Rev. 361 (1996) (criticizing victim impact statements for appealing to vengeance and hatred, which interferewith proper evaluation of the defendants conduct).


22/41


21

decision-makers by priming subjects with emotion-provoking stimuli.51 One possibleexperiment would involve giving tort or criminal cases to subjects, and asking them to determineliability or guilt, and damages or punishment. The control group would be given a verbaldescription of the tort or crime; the other group would be given the same description plus a gorypicture. The prediction is that the latter group would be more likely to find liability or guilt, and

more likely to award higher damages or to impose harsher sentences. One could test the extentto which emotions interfere with or promote accuracy by ensuring that there is a correct legalanswer (for example, award compensatory damages, stipulate that the victim felt no pain and didnot suffer in any way, and provide a formula for determining damages). One could also test theeffect of gory versus non-gory photographs, for example, the photograph of a mutilated corpseand the photograph of a non-mutilated corpse. An issue of interest is whether a jury punishescriminal or civil defendants who engage in exactly the same amount of harm, on the morally andlegally irrelevant basis of whether the harm is bloody or otherwise disgusting or horrifying.Surprisingly, no one, to my knowledge, has done such empirical analysis.

Another experiment would test my claim that disgust, unlike anger, has little influence on

jurors deliberation. The key here is to use a photograph that is disgusting but unlikely toprovoke anger, because the defendant is not responsible for the harm. Suppose, for example, thatan insurance company must pay an insured an amount that will compensate her for the loss ofher husbands earnings after the husband commits suicide. The sole issue at trial is that ofcalculating the loss. Let that calculation involve the valuation of a number of imponderables.Though one would expect variation in the awards, my claims about disgust imply that jurorsshown a photograph of the mangled corpse would not systematically award higher amounts thanjurors who are given a sketchy description.

These and similar experiments would clarify the meaning of prejudice in evidence law,and enable judges to be more discriminating when withholding photographs and other evidence

because of concerns that they may lead to inappropriate evaluations by jurors.

V. Cost-Benefit Analysis and Risk Regulation

In a recent article Timur Kuran and Cass Sunstein argue that various cognitive biases canlead to panicked government action that is socially harmful.52 They focus on the availabilityheuristic, a pervasive mental shortcut whereby the perceived likelihood of any given event istied to the ease with which its occurrence can be brought to mind. 53 Because people rely on theavailability heuristic and other cognitive shortcuts, they fear risks not solely on the basis of theexpected harm, but on the basis of strictly irrelevant factors such as the degree to which the risksare subject to public discussion, the harm is vivid, the technology is new, the results are

irreversible, and so forth. In the meantime, dissenting views are ignored, dissenters are treatedwith opprobrium, and so dissent is suppressed. As a consequence, initially exaggerated beliefsabout risks can feed on each other, resulting in an availability cascade, in which a minor risk isblown up into a major threat. Kuran and Sunsteins main examples are the Love Canal scare, the

51 See, e.g., Goldberg, Lerner, & Tetlock, supra note __ (priming by having subjects watch outrage-inducingmovie); Lerner, Goldberg, & Tetlock, supra note __ (same).52 See Timur Kuran & Cass R. Sunstein, Availability Cascades and Risk Regulation, 51 Stan. L. Rev. 683 (1999).53 Id., at 685.


23/41


22

Alar scare, and the response to the crash of TWA flight 800. In all these cases, a relatively trivialrisk or benign explanation is overtaken by events, resulting in a panic in which the worst case iswidely believed.

A notable aspect of Kuran and Sunsteins explanation is that it is purely cognitive.

People are assumed to be rational except to the extent that cognitive biases interfere with rationalchoice. Their argument predicts that availability cascades would occur even in a hypotheticalworld in which people had no emotions.

But there are some reasons for being skeptical of this view. Start with the obvioussemantic point that Love Canal, and similar events, are often called scares or panics. Kuranand Sunsteins account of the Love Canal affair repeatedly notes the emotional character of theevents: frightening tales spread quickly;54 residents feared... various dangers;55 [a]ngered byclaims in a newspaper, one resident organized a petition drive;56 a woman at a meeting startedcrying hysterically;57 [h]er anxieties and fears came to be shared by the entire community;58

one activist was furious ... Now very emotional, I said: You cant do that! That would be

murder!;59

fears would not dissipate;60

and so forth. Although Kuran and Sunstein couldargue that the emotional responses were epiphenomenal, and that cognitive bias fully explainsthe phenomenon, an emotion-based theory cannot be discounted. Most panics, as the termsuggests, are characterized byfear.

One influential psychological theory of fear holds that it is an evolutionarily adaptivemechanism for processing information about potential threats to the organism. It isevolutionarily more costly for an organism to fail to respond to a threat than it is for the organismto respond incorrectly. That is, you are less likely to survive and reproduce if you sometimesneglect to flee from a tiger than if you occasionally flee from a shadow that looks like a tiger.Certain genetically determined or learned stimuli (snakes, and so forth) are processed in a rough

way by a part of the brain before being subject to cognition, a bit like the reflex action ofwithdrawing ones hand from a hot object.61 Thus, fear (and anxiety as well) has benefits andcosts: it allows the organism to respond quickly to a threat, but it also appears to cause theorganism to overpredict the probability of the threat. In our framework, fear results in distortedbeliefs but also lower costs.

The connection between an individuals fear and a social panic occurs as follows. First,fear is contagious. A person who observes that another person is fearful is more likely tobecome fearful than a person who does not make such an observation. This may, of course, berational in a sense; but it also seems to be a purely psychological or even physiological

54 Id., at 691-92.55 Id., at 692.56 Id.57 Id., at 693.58 Id., at 692.59 Id., at 693, quoting Lois Marie Gibbs, Love Canal: The Story Continues ... 30 (1998).60 Id., at 694.61 Arne hman, Fear and Anxiety as Emotional Phenomena: Clinical Phenomenology, Evolutionary Perspectives,and Information-Processing Mechanisms 511, 520, in Lewis & Haviland, supra note __.


24/41


23

response.62 Second, fear feeds on itself: observing that another is fearful, ones own fear maybecome heightened. Third, fear, unlike some other emotions such as anger, can persist for quitea long time, sometimes in the form of a general anxiety. Fearful and anxious people continue tooverestimate the probability of a threat, and to reinforce each others incorrect beliefs.

The emotion perspective can be seen as a supplement to Kuran and Sunsteins cognitivetheory, which itself indeed can be seen as a supplement to a rational choice view based oninformation imperfections. It is rational to infer that a threat exists if others believe that a threatexists.63 This inference may be strengthened by the availability heuristic, a cognitive bias. Andthe inference may be strengthened further by the emotion of fear, which leads the fearfulindividual to exaggerate (relative to calm-state beliefs) not any widely publicized risk (assuggested by the availability heuristic), but in particular those risks that pose threats that engagethe fear-centered portions of the brain.

This last observation leads to the question of normative implications. Kuran andSunsteins analysis of availability cascades lead them to call for greater insulation of

decisionmakers, greater reliance on scientists and other experts, and greater use of analytic toolslike cost-benefit analysis.64 These are surely appropriate responses when panics are the result offear as well as cognitive biases.

But it also would be useful to know whether different panics have different explanations,and therefore justify different government responses. A bank panic, for example, is calm-staterational. Given that the banks liabilities exceed its liquid assets, I am rational to withdraw mymoney if I believe others will withdraw their money. This is a classic n-player prisonersdilemma. Bank panics would occur even if people never made cognitive errors or experiencedintense emotions. This may explain why bank panics are so easily ended: the government justneeds to make a credible promise to reimburse all depositors.

By contrast, the preference for driving over flying appears to be emotion-driven. Iconjecture that people are more anxious about flying than about driving because when dangerprovokes fear, driving does not prevent one from fleeing (one pulls over to the shoulder) butflying does (one is stuck in the tube).

A frequent criticism of aggressive airline safety regulation is that costly precautions causepeople to substitute to automobiles for short trips, which in fact are more dangerous, so certainairline safety regulations may increase fatalities rather than reduce them.65 A common responseis that peoples subjective discomfort with airline travel should be counted as a social cost.Although airline safety regulation may increase aggregate fatalities as people substitute to

automobiles because of cost, it may still increase social welfare as the travelers experience lessemotional discomfort.62 See Elaine Hatfield, John T. Cacioppo, & Richard L. Rapson, Emotional Contagion (1994) (discussing theconditions under which emotions spread among individuals).63 See, e.g., Abhijit V. Benerjee, A Simple Model of Herd Behavior, 107 Q.J. Econ. 797 (1992).64 Kuran & Sunstein, supra note __, at 746-60.65 Robert W. Hahn, The Economics Of Airline Safety and Security: An Analysis of the White House Commission'sRecommendations, 20 Harv. J.L. & Pub. Poly 791, 804-07 (1997) (arguing that proposed regulation requiring infantseats in airplanes would increase the number of fatalities by causing people to switch to driving for short trips).


25/41


24

The problem with this response is that fear, dread, and anxiety are not sensitive tochanges in low probabilities.66 A person who feels an overpowering feeling of dread whileriding on an airplane will feel the same amount of dread whether the probability of an accident is1 in 100,000 or 1 in 1,000,000. So the safety precaution does not increase that persons

subjective well-being. If the person rationally anticipates his dread, he will treat it as a fixed costregardless of the probability of accident (within constraints, obviously), so his determinationwhether to fly or drive will depend entirely on the pecuniary costs. This observation rescues thestandard criticism of safety regulation from the economic response: subjective (emotional)discomfort should not play a critical role in safety regulation.67

As another example of what is at stake, consider the problem of genetically altered food,which is widely avoided in Europe. On the rational herding view, individuals in Europerationally avoid this food because others avoid this food, and each person, individually rationallybut collectively disastrously, infers that every person acts on statistically independent pieces ofinformation. The reason that this story is probably false is that in the herd behavior models, the

suboptimal equilibria are fragile.68

If genetically altered food poses risks no greater than thosethat people already face, and if people were rational, then the panic would not have lasted as longas it has.

There is probably some truth to the cognitive view of this panic. Concerns aboutgenetically altered food probably stem from the mad cow disease problem in England, whichwas a highly salient event. But we know that emotional reactions often interfere with cognition.The argument in favor of genetic alteration of food, which is that it is not much different frombreeding that has occurred for thousands of years, does not stick in peoples minds, and it may bethat it does not for the same reason that a person who sees a snake in a cage jumping at himforgets, or simply does not process, the fact that the snake is behind a pane of glass, and that a

person will not eat a cockroach that has been sterilized. This argument requires a jump from theprimal fear and disgust responses, to a more complex, culturally mediated fear/disgust response,about which little is know. But it is a reasonable hypothesis.

The cognitive and emotion views leave a lot unexplained. If the British had all becomevegetarians in response to mad cow disease, the views could have rationalized that response aswell. But a similar objection can be made to the rational choice argument as well.

These methodological difficulties do not alter the fact it matters which view is correct.To see why, consider the question over whether it is appropriate for automobile manufacturers toinstall switches that allow consumers to deactivate air bags. Reluctance about permitting these

switches stems from fears that publicity about the dangers that air bags

Law and the Emotions-Eric Posner

Documents

Transcript of Law and the Emotions-Eric Posner